On episode 105 of the CCO Buzz podcast, Sr. Compliance Consultant Matthew Rothchild takes a look at the SEC’s Risk Alert, Observations from Broker-Dealer Examinations Related to Regulation Best Interest (“RBI”) and discuss its applicability to Investment Advisers.
March 16, 2023 | Regulatory Compliance Watch Webinar | Speaker: Michelle L. Jacko, CSCP, CEO
February 27 – March 2, 2023 | Orion Ascent Conference | Attendee: Jason Ewasko, Chief Development Officer
I don’t know about you, but many compliance professionals find regulatory examinations to be daunting and at times even a little scary. I don’t know anyone that enjoys exams or looks forward to a regulator looking under the hood and … Read More
At Core Compliance, we encourage our clients to build a culture of compliance and to set the “tone from the top.” This is, of course, common practice in the financial services industry, but recently we were asked, “what happens after … Read More
On Episode 104 of the CCO Buzz podcast, Compliance Consultants Suzette Hagan and Christopher Hufty take a look at the impacts of Regulation S-ID on the industry.
When a regulator shows its hand, take it seriously—a poignant lesson that one is wise to heed. At the end of January, the Securities and Exchange Commission (“SEC”) released a Risk Alert entitled ‘Observations from Broker-Dealer Examinations Related to Regulation … Read More
As we all know in the compliance and the financial services industries, as a registered investment adviser or as an employee of the adviser, you have a fiduciary duty to put your clients’ interests ahead of your own. But as … Read More
March 21, 2023 | NSCP Educational Seminar | Speaker: Michelle L. Jacko, CSCP, CEO
By: Suzette Hagan, Compliance Consultant, & Christopher Hufty, Compliance Consultant In today’s electronically connected world, more and more exchanges are happening online, in terms of both sensitive information and currency. Be it communication through social media platforms, mobile applications, email, … Read More